DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

C••••• K••• S••••••

B•••••••• I••••••••• M••••••••• L••asset managerPrinceton, Nj dual registrantIAPD 4287113

Feed of 09/15/2026

Also filed as C••••• Ann K•••

At current firm

11 y

since Mar 18, 2015

In the industry

25 y

since Dec 13, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B•••••••• I••••••••• M••••••••• L•• asset manager current
since Mar 18, 2015 · Princeton, Nj
N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
Sep 29, 2011 to Feb 13, 2015 · New Y•••, Ny
E•••• S••••••••• L•• BD affiliated
Dec 21, 2009 to May 24, 2011 · New Y•••, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 4, 2007 to Mar 11, 2009 · Cleveland, Oh
T•••• S••••• S••••••••• I••• former
Jun 9, 2004 to Feb 24, 2005 · East Brunswick, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 20, 2002 to Apr 6, 2004 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

N•• Y••• L••• I••••••••• M••••••••• L•• to B•••••••• I••••••••• M••••••••• L••
left Feb 13, 2015, registered Mar 18, 2015 (33 days) · Other
E•••• S••••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••
left May 24, 2011, registered Sep 29, 2011 (128 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••• S••••••••• L••
left Mar 11, 2009, registered Dec 21, 2009 (285 days) · Other
T•••• S••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 24, 2005, registered Oct 4, 2007 (952 days) · Other
C•••••••• G••••• M•••••• I••• to T•••• S••••• S••••••••• I•••
left Apr 6, 2004, registered Jun 9, 2004 (64 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Asset manager (funds and pooled vehicles)derived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address